Perspectives

Who builds your confidence?

Article

by Kate Healy | March 4, 2019

Inspired by International Women's Day, Kate reflects on those that have supported her over the years, both personally and professionally. She discusses the impact you can make on a person's career (possibly someone you haven't even met yet).

The three finalists in TD Ameritrade Institutional’s fintech competition took the stage at National LINC. They pitched their ideas to nearly 2,000 advisors and a panel of expert judges, who made the call on how to divvy up $100,000 in prize money.

The old ways of demonstrating value isn’t enough anymore. Ron Carson talks about what your value is now and how you can show your relevance to your clients in an ever-changing, technologically-accelerated world.

Client experience is a hot topic for advisors, evidenced by the standing-room only crowd for Greg Menefee's session Elevating Your Customer Experience at LINC 2019. Menefee, director of Business Consulting for TD Ameritrade Institutional, stressed how important client experience is to advisor success, helped advisors identify where their client experience falls short and offered strategies to improve the experience.

Investment advisers (and others) often ask me about the status of various policy proceedings around standards of care for investors. This seems to be a constant – and slowly moving – target, so here's the latest roundup.

There are many ways to build social capital. One big way is to focus on inclusivity — supporting paths for all types of colleagues and clients, and deliberately structuring the policies and programs that make those paths real. Here's how some firms are doing just that.

How AI allows advisors more “in real life" face-to-face time with investors

Melissa Banigan | Article | 11/20/2018

Sure, chat-bots are efficient. They free us from tedious, repetitive work, and unlike us, they're always on call. Yet while there's no doubt that chat-bots and AI in general can potentially increase a company's bottom line, they're also disliked by clients.

The lack of qualified talent and poor recruitment strategies have left a disconnect between the needs of the industry and the talent they need to hire, and some advisory firms are even hiring from outside of the industry or poaching top-level financial advisors from competitors. These solutions don't address the diversity issue, though — and artificial intelligence, or AI, can help.

From shopping to banking, technology has fundamentally changed our relationship with money. That means if registered investment advisors (RIAs) want to stay relevant, especially to younger investors, they need to change their relationship with technology.

Technical analysis offers a wide range of options to analyze the strength of a market trend. Many use price action and indicators, but when it comes to analyzing the strength of an index, it is helpful to look at the breadth underlying that index.

We doubt most RIAs have the time to consume and digest proposals that total nearly 1,000 pages, so we asked a leading authority on advisor regulation to boil down some of the more important aspects to just 10 pages – a 99 percent reduction!

Whether it be 10 year notes breaking above the 3% linchpin or the looming inversion of the yield curve, financial gurus are pounding the table about how rates are in one way or another going to derail the appetite for risk and send the economy into a recession.

If an investment fund was advertising low double digit returns with little to no volatility, how many people would sign up? There’s a few reasons why that’s probably not a good idea, and why a moderate amount of volatility is actually a good thing.

Try to keep up as Dr. Ian Bremmer takes us on a bi-partisan round-the-world trip, sharing some of his “in the know” insights and perspectives about the world as it stood in February during TD Ameritrade Institutional’s 2018 National LINC conference.

For many, summer in the city is something to try to escape from the heat and humidity. But it’s also my favorite time of year - it symbolizes an infusion of new energy into the RIA world as we celebrate our NextGen RIA Scholarship and Grant winners.

As someone who is passionate about growing the number of women and other under-represented groups in the ranks of financial planners, it’s no surprise I often direct my advice and encouragement to women. Not today. Today, I’m talking to you: dad.

I just returned from the Investment Adviser Association’s 10th annual Lobbying Day in Washington, D.C., where the IAA and registered independent advisers (RIAs) fan out to meet with lawmakers and their staff to discuss issues of top concern to RIAs.

When you consider ways to grow your firm, are the top two options that come to mind onboarding more clients or acquiring another firm? If so, you’re not alone. But the reality is, operational efficiency takes discipline and is an often-overlooked.

RIAs might think that only millennial investors want their advisors to have an online presence, but research shows investors from all age groups want the option to interface with the financial professionals in their lives when and where they need.

Over the past few months, I’ve been consulting with a large RIA firm that transitioned to a new customer relationship management (CRM) system. I’ll equate the scenario to “transitioning” from owning and driving a 1997 Honda Civic to a 2015 BMW.

As the available pool of assets is poised to break the floodgates, offering incredible new opportunities for advisors, the competition and range of solutions is also set to grow in volume and complexity.

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